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Karen H. ONeil, MA, Mary Purdy, PhD, Janice Falk, MA, and Lanelle Gallo, MS
Hartford Hospital, Hartford, Connecticut, USA
Abstract. The Dysphagia Outcome and Severity Scale gists on observation of swallow deficits on videofluoro-
(DOSS) is a simple, easy-to-use, 7-point scale developed scopic examination and agreement of treatment recom-
to systematically rate the functional severity of dyspha- mendations. They stated that instances of high agree-
gia based on objective assessment and make recommen- ment among clinicians were not abundant [1]. Ekberg et
dations for diet level, independence level, and type of al. studied interrater reliability of radiologists on cinera-
nutrition. Intra- and interjudge reliabilities of the DOSS diographic assessments and found that interobserver
was established by four clinicians on 135 consecutive variability in cineradiographic assessment of pharyngeal
patients who underwent a modified barium swallow pro- function seems to be a major function of observer expe-
cedure at a large teaching hospital. Patients were as- rience [2]. There is also significant demand to deter-
signed a severity level, independence level, and nutri- mine the efficacy, effectiveness, and cost benefit of swal-
tional level based on three areas most associated with lowing therapy for large patient populations and within
final recommendations: oral stage bolus transfer, pharyn- individual treatment facilities. Currently, there is a pau-
geal stage retention, and airway protection. Results indi- city of research to assuage these demands, and clinicians
cate high interrater (90%) and intrarater (93%) agree- have few means of reliably documenting such functional
ment with this scale. Implications are suggested for use outcomes.
of the DOSS in documenting functional outcomes of Other areas in rehabilitation outcomes have been
swallowing and diet status based on objective assess- systematically and internationally studied with the func-
ment. tional independence measure (FIM) [3]. The FIM is one
of the most widely used methods of assessing basic qual-
Key words: Dysphagia Severity Scales Out-
ity of daily living in persons with disability [4]. The
come Videofluoroscopy Reliability Deglutition
FIM is a 7-point scale across 18 motor and cognitive/
Deglutition disorders.
social areas which allows a patients progress to be
charted reliably across a variety of settings, raters and
patients, as reviewed by Ottenbacher et al., with an
The demand for outcome data in dysphagia research has interrater reliability of 8999% [4]. Dysphagia is not
elevated in recent years with the expanding presence of currently an area on the FIM, but it is a common dis-
managed care, and the rapidly changing Medicare envi- ability of stroke patients in rehabilitation settings and of
ronment. Clinicians are challenged by third-party payers nursing home residents. The occurrence of dysphagia
and physicians to prove the validity and reliability of following stroke has been estimated at approximately
dysphagia assessments from which treatment recommen- 2545% [59]. Moreover, the incidence of dysphagia in
dations are made. However, the consistency of documen- nursing homes has been reported by Donner (1986) as
tation in evaluating dysphagia has not been encourag- 40% of the population [10]. To address the quality and
ingly high in the dysphagia literature to date. Wilcox et efficacy of care in these patients across clinicians and
al. [1] studied interjudge agreement of speech patholo- settings, a reliable and uniform measure of dysphagia
severity is necessary.
Currently there are scales available that clinicians
can use to subjectively qualify the level of dysphagia in
Correspondence to: Karen H. ONeil, M.A., Speech Pathology, Hart- adult populations. However, reliability of these measures
ford Hospital, 80 Seymour Street, Hartford, CT 06102, USA is unknown and there are no correlates to objective per-
140 K.H. ONeil et al.: Dysphagia Outcome and Severity Scale
from the oral cavity, intact lingual movement to propel would impact that patients ability to tolerate any con-
the bolus posteriorly, and intact buccal musculature to sistency effectively. If that same patient was able to use
insure that material does not fall into the lateral sulci a strategy to eliminate aspiration with at least one con-
[16]. Patients in the present study were clinically judged sistency, oral intake might be possible with assistance.
on the degree of bolus loss or oral retention (after the The impact of that aspiration on nutrition, diet, and in-
swallow) and the patients ability to compensate with or dependence would be considered less severe. The sever-
without cueing. For example, if a patient is unable to ity of penetrationaspiration was based on retrospective
move a bolus posteriorly into the oral cavity or loses the report analysis and through the general framework pro-
entire bolus due to poor labial closure, that patient will posed by Rosenbek et al. in their study on the penetra-
have difficulty meeting nutritional needs and would be tionaspiration scale [13].
considered more severe. However, if that patient is able Once the scale was fully outlined incorporating
to use strategies, verbal cues, or positions to compensate all these factors, it was piloted for approximately 1
for that deficit and transfer the bolus through the oral month, with ongoing changes made until the final revi-
cavity effectively, that would be considered less severe sion was completed (Table 1).
but with different levels of assistance needed.
Level 5: Mild dysphagia: Distant supervision, may need one diet consistency restricted
May exhibit one or more of the following
Aspiration of thin liquids only but with strong reflexive cough to clear completely
Airway penetration midway to cords with one or more consistency or to cords with one consistency but clears spontaneously
Retention in pharynx that is cleared spontaneously
Mild oral dysphagia with reduced mastication and/or oral retention that is cleared spontaneously
Level 4: Mildmoderate dysphagia: Intermittent supervision/cueing, one or two consistencies restricted
May exhibit one or more of the following
Retention in pharynx cleared with cue
Retention in the oral cavity that is cleared with cue
Aspiration with one consistency, with weak or no reflexive cough
Or airway penetration to the level of the vocal cords with cough with two consistencies
Or airway penetration to the level of the vocal cords without cought with one consistency
Level 3: Moderate dysphagia: Total assist, supervision, or strategies, two or more diet consistencies restricted
May exhibit one or more of the following
Moderate retention in pharynx, cleared with cue
Moderate retention in oral cavity, cleared with cue
Airway penetration to the level of the vocal cords without cough with two or more consistencies
Or aspiration with two consistencies, with weak or no reflexive cough
Or aspiration with one consistency, no cough and airway penetration to cords with one, no cough
Nonoral nutrition necessary
Level 2: Moderately severe dysphagia: Maximum assistance or use of strategies with partial P.O. only (tolerates at least one consistency safely
with total use of strategies)
May exhibit one or more of the following
Severe retention in pharynx, unable to clear or needs multiple cues
Severe oral stage bolus loss or retention, unable to clear or needs multiple cues
Aspiration with two or more consistencies, no reflexive cough, weak volitional cough
Or aspiration with one or more consistency, no cough and airway penetration to cords with one or more consistency, no cough
Level 1: Severe dysphagia: NPO: Unable to tolerate any P.O. safely
May exhibit one or more of the following
Severe retention in pharynx, unable to clear
Severe oral stage bolus loss or retention, unable to clear
Silent aspiration with two or more consistencies, nonfunctional volitional cough
Or unable to achieve swallow
ings and discriminating factors to consider when decid- amount of supervision that is realistically available for
ing between levels (patients environment, premorbid that patient. For example, the speech pathologist can bet-
nutrition, cognition, acuity of dysphagia, current medical ter decide between level 2 (nonoral intake) and level 3
status). These factors are integral to a careful decision- (oral intake with total assistance for strategies) when
making process for level of nutrition, diet, and indepen- accurate and realistic consideration of possible supervi-
dence and were assessed by chart review, history intake sion is known. Premorbid nutrition is also very pertinent
with the patient, and clinical bedside evaluation. to making difficult decisions between recommending full
The patients environment is defined as the oral intake versus nonoral intake. A patients ability to
K.H. ONeil et al.: Dysphagia Outcome and Severity Scale 143
maintain oral nutrition before dysphagia will only be- more conservative stance on a patient with multiple cur-
come more problematic with the onset of difficulty in rent medical concerns.
swallowing. Cognition also is important to consider Following verbal instruction in the guidelines for
when deciding whether a patient will quickly and spon- use of the DOSS, a peer review of videotaped MBS
taneously learn strategies (level 6) or need supervision studies with joint scorings was conducted. All discrep-
due to poor memory (level 5 or below). Acuity of dys- ancies in scoring were discussed and resolved.
phagia refers to how acute the swallowing problem is to
the patient, and current medical status refers to the rela- Results
tive acuity of the overall medical issues. These factors
are critical in considering the risks that are considered Results are presented in Tables 4 and 5 and outline the
with a given patient and may guide a clinician toward a different types of reliability established (interjudge or
144 K.H. ONeil et al.: Dysphagia Outcome and Severity Scale
between two judges and intrajudge or between two grad- Table 4. Interjudge reliability by judge pair
ings by a single judge). Table 6 shows the number of
12 13 14 Total
patients for each severity level and the reliability figures
for each severity level. Total rated 43 57 35 135
Of the 135 consecutive patients who underwent No. ratings agree 37 52 32 121
an MBS procedure, 10 (7%) were rated as severe and 17 Reliability % 86 91 91 90
Scores that differed
(12.6%) were rated as moderately severe by the initial by 1 (%) 6/6 (100) 5/5 (100) 2/3 (66) 13 (93)
rater; all required nonoral nutrition according to recom- Scores that differed
mendations. Twenty-one (15.6%) of the 135 patients had by 2 (%) 0 0 1/3 (33) 1 (7)
moderate dysphagia, 30 (22%) were rated as mild to
moderate, and 28 (21%) were considered to have mild
dysphagia; recommendations for these three groups al-
lowed full oral nutrition but with a restricted diet and can be used by trained clinicians to better describe se-
level of independence. A functional swallow was deter- verity level of dysphagia with excellent reliability and to
mined in 22 (16%) of the 135 patients, and seven (5%) make more consistent recommendations for nutrition,
were rated as normal; both groups were allowed a normal diet, and independence.
diet based on recommendations from the DOSS. (Ta- Scale development and use are founded on strong
ble 6). documentation of MBS results on a detailed report for-
On overall interrater reliability, both judges mat and training with discriminating factors critical to
agreed and assigned an exact match for 121 of 135 cases appropriate recommendations. These factors include the
(90%). The four judges constituted three judge pairs, and patients premorbid nutrition level, acuity of dysphagia,
the individual agreement between the two judges in each current medical status, environment, and cognition. Use
pair is outlined in Table 4. The scores that disagreed of this scale may improve and highlight clinical attention
were off by one level on the scale in 13 of 14 instances to important subtleties of assigning diagnosis and could
of error, and all were within two severity levels. As cited also improve communication between clinicians and al-
in Table 6, interjudge agreement was good for rating all low a smoother continuum of care for dysphagic patients
levels of the scale (82100%), with the highest concor- across settings. This improved consistency of documen-
dance on level 7/normal (100%), level 4/mildmoderate tation and recommendations would serve this area of our
(93%), level 6/within functional limits (91%), and level profession well in a time that demands larger scale stud-
1/severe (90%). ies of efficacy, efficiency, and outcome.
Total intrajudge reliability was 93% (125 of 135) However, the scale does not thoroughly define
when the four judges reassigned the same severity level each parameter (i.e., what constitutes mild retention)
on the second grading. Table 5 summarizes the pattern of and therefore requires subjective clinical determination
agreement for each individual judge. Reliability was usually based on clinical experience. A clearer definition
good across all levels of the scale (86100%). The sec- of what determines such parameters as severe aspira-
ond ratings that did not agree were off by only one se- tion or severe retention is also needed from future
verity level in six of nine cases, and all disagreements studies. Also, the present study assessed reliability by
were within two severity levels (Table 5). review of written report; therefore, reliability of the ac-
tual interpretation of the videotape and subsequent docu-
mentation was not determined. Further research is nec-
Discussion essary to determine the reliability of clinicians interpre-
tation and documentation of MBS results using more
The purpose of the present study was to develop a scale standardized report formats such as the one used in the
to rate the severity of dysphagia and functional level present study.
based on objective measures from the MBS procedure The DOSS may be an excellent and thorough
and to determine the reliability of the scale for an ac- alternative to currently available scales to describe
ceptable number of subjects. The scale was not intended functional dysphagia severity. Existing scales have re-
to determine reliability of the MBS procedure itself. It lied on too general and subjective descriptions per level,
was intended, however, to improve the consistency of have failed to encompass all important dysphagia issues,
documentation and recommendations across clinicians or have not presented acceptable levels of reliability.
and within individual clinicians, provide a basis for com- Both the Cherney et al. scale [11] and the ASHA scale
paring patients with each other and over time, and to [12] are 7-point severity scales that assign severity based
introduce a possible measure of functional outcomes in on nutritional and independence levels but do not
dysphagia. The present results indicate that the DOSS associate each level with patients dysphagia deficits
K.H. ONeil et al.: Dysphagia Outcome and Severity Scale 145